Fiduciary Investment Management International, Inc. (Washington)

Name: Fiduciary Investment Management International, Inc.
Address: 1133 Connecticut Avenue, Nw, Washington, DC, 20036
Telephone: 202-822-2110

Fiduciary Investment Management International, Inc. is a large advisory firm based in Washington. It manages $695.56 million of regulatory assets for 207 client accounts. It has been registered with the SEC as an adviser since 2004 and has operated in the jurisdictions of California, Delaware, District of Columbia, and 8 other states.

Fiduciary Investment Management International provides portfolio management for individuals and small businesses and portfolio management for businesses and institutional clients. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Fiduciary Investment Management International: assets under management

The assets under management (AUM) of Fiduciary Investment Management International, Inc. is $695.56 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 72% since the beginning of its operation, and $7.98 million of the total AUM is attributable to clients outside of the United States.

The firm manages $695.56 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $3.36 million each.

Investments

The firm invests in exchange traded securities the most. They account for 68% of the total AUM. The second-largest asset type is investment and business development companies, which make up 25% of the firm’s portfolio. Investments in cash and cash equivalents form 6% of the total invested assets.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Fiduciary Investment Management International, Inc. for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Henry Pierce Johnson serves?

The only and largest group of clients of Henry Pierce Johnson is high net worth individuals with 204 clients and $686.56 million of assets under management. Among the 11 most similar advisory firms, Fiduciary Investment Management International has the highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $686.56 million for 204 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. 1% of the firm’s clients are foreign persons or businesses.

Fiduciary Investment Management International doesn't advise any private funds.

Careers at Fiduciary Investment Management International, Inc.

The company employs 5 people that are either part- or full-time employees. 20 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm compensates employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Henry Pierce Johnson has been acting as President since 1 Apr 2005. John Marshall Dowd joined the executive team most recently as the Director.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
James Charles Goodfellow	Chairman & director	1 May 1998	Other	4330094
Gail Ehrick Cohen	Director	1 May 1998	Other	4370736
Stephen Clinton Thormahlen	Director, president and ceo	1 May 1998	Other	1900530
Gail Ehrick Cohen	Director	1 Jul 1998	Other	4370736
James Charles Goodfellow	Chairman & director	1 Jul 1998	Other	4330094
Stephen Clinton Thormahlen	Director, president and ceo	1 Jul 1998	Other	1900530
Inc. Fiduciary International Holding	Shareholder	1 Jan 1999	75% - 100%	13-2845170
Lawrence Adam Sternkopf	Treasurer	1 Mar 2002	Other	4618036
Lawrence Adam Sternkopf	Chief financial officer	1 May 2002	Other	4618036
William Elderkin Leffingwell	Managing director	1 Sep 2002	Other	1857451
Jane Scott Cantus	Sr. vp, businessdevelopment and client services	1 Oct 2003	Other	4566853
Breda Mary Beckerle	Chief compliance officer	1 Aug 2004	Other	1078762
Henry Pierce Johnson	Director	1 Apr 2005	Other	2905857
Madison Sterling Gulley	Trading officer	1 Nov 2006	Other	1862155
Craig Steven Tyle	Chief legal officer	1 Dec 2006	Other	5026433
Madison Sterling Gulley	Trading officer	1 Dec 2006	Other	1862155
Peter Arthur Carnathan	Senior vice president	1 Feb 2007	Other	2614538
Gail Ehrick Cohen	Director, president and ceo	1 Aug 2008	Other	4370736
Spencer Christian Smith	Managing director	1 Nov 2008	Other	4430732
Catesby Ware Palmer	Managing director	1 Jan 2011	Other	1131625
Gail Ehrick Cohen	Director, president & ceo	1 Nov 2012	Other	4370736
Michael J. Hogan	Chief financial officer	1 Dec 2014	Other	6444065
Michael James Hogan	Chief financial officer	1 Dec 2014	Other	6444065
Lawrence Adam Sternkopf	Director	1 Feb 2015	Other	4618036
John Marshall Dowd	Director	1 Nov 2017	Other	4361511

Indirect Owners

The SEC currently registers 3 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Fiduciary Trust Company International	Shareholder	1 Feb 1970	75% - 100%	13-5069335
Fiduciary Investment Corporation	Shareholder	1 Apr 1998	75% - 100%	13-2657470
Inc. Franklin Resources	Shareholder	1 Apr 2001	75% - 100%	13-2670991

Based in Washington

The principal office where Fiduciary Investment Management International, Inc. performs its advisory services is located at 1133 Connecticut Avenue, Nw, Washington, DC 20036, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 202-822-2110 or by fax 202-822-2118. The normal business hours are 9:00am to 5:00pm on Monday - Friday. You can find more information about the New York firm at franklintempleton.com/.